The Voleon Group · 4 days ago
Compliance Analyst II
Berkeley, CA
Full-time
Onsite
Mid, Senior Level
$120K/yr - $135K/yr
5+ years expThe Voleon Group is a technology company specializing in AI and machine learning for finance. As a Compliance Analyst II, you will work on the investment advisory compliance program, collaborating with the CCO and various departments to manage regulatory requirements and develop compliance policies.
Financial ServicesVenture Capital
Responsibilities
Responsible for various regulatory filings (e.g., Form ADV, Forms 13H and 13F, CFTC and NFA filings, state "Blue Sky" filings and others)
Manage the firm’s Proxy Voting processes
Review, revise, develop, and implement policies and procedures to address new business practices or regulatory changes (e.g., CTA, etc.)
Work closely with other members of the firm to analyze the compliance impact of investment strategy changes, and implement changes to the compliance program
Develop and test various compliance policies, procedures, and other controls
Review marketing materials and other communications for regulatory compliance
Qualification
Required
5+ years of experience at: (i) an investment adviser or commodity pool operator working with private investment funds or SMA investors; (ii) a securities compliance consulting firm; (iii) a law firm working on relevant matters; (iv) compliance division of a securities regulator (e.g., SEC, NFA, CFTC); (v) fund administrators; (vi) or other securities related business
Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of compliance programs
Bachelor's degree, strong preference for finance or accounting
Authorization to work in the United States
Benefits
Medical, dental and vision coverage
Life and AD&D insurance
20 days of paid time off
9 sick days
401(k) plan with a company match
Company
The Voleon Group
The Voleon Group is a family of companies committed to the development & deployment of cutting-edge technologies in investment management.
201-500 employees
H1B Sponsorship
The Voleon Group has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (2)
2024 (2)
2023 (3)
2022 (4)
2021 (1)
2020 (1)
Funding
Current Stage
Growth StageLeadership Team
Jon McAuliffe
Chief Investment Officer and Co-founder
Prem Gopalan
Chief Technology Officer
Company data provided by crunchbase